Investment management and securities & futures firms (including stockbrokers)
This page is for you if you are an investment management and securities & futures firm and want to find out more about how the FSA regulates you and what’s going on in your sector
Updates and additions
28 June
Further update on consultations on the Capital Requirements Directive and Markets in Financial Instruments Directive.
10 May
For a preview of the upcoming MiFID and CRD consultation papers, have a look at pages 8-10 of the recently published Joint Implementation Plan [PDF].
General information
For all small firms
For information and documents that are relevant to all small firms, please see the general information section.